Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carl? Claim Your ProfileCarl Theodore Uehling has over 35 years of experience in the financial services industry. Carl has been registered with UBS Financial Services Inc. since May 2009. Before joining UBS Financial Services Inc., Carl was employed by CITIGROUP GLOBAL MARKETS INC., and Lehman Brothers Inc. Carl holds a Series 3, 7, 31, and 63 licenses, as well as a Series 65 license. Carl is licensed in over 25 states and the District of Columbia.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
PA
09/03/2009 - Present
UBS Financial Services Inc. (NEWTOWN PA)
PA
07/31/1993 - 05/21/2009
CITIGROUP GLOBAL MARKETS INC. (NEWTOWN PA)
NY
09/24/1987 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 05/28/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/25/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/18/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 10/26/1987
Series 3 - National Commodity Futures Examination
BC
Issued 09/19/1987
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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